Compliance Officer - Financial Services

We are seeking a Company Secretary and/or LLB (15-20 years of experience) as our Head of Compliance who is looking forward to an extremely intense and challenging role in our asset management platform. An ideal candidate would be someone who has held senior position in a similar profile in the asset management / large NBFC / financial services space.

Roles & responsibilities:

a. Oversee and manage the compliance and secretarial functions end-to-end of the entire platform. NBFC (ND-SI), AIF, PMS, Investment advisor & stock broking compliances are the prime focus areas.

b. Liaise with regulators like RBI, SEBI & ROC and other regulators as needed.

c. Review and ensure submission of various regulatory filings

d. Proactively advise the leadership team on potential compliance related risks and risk mitigation strategies.

e. Monitor regulatory changes, assess impact on business, provide comments on consultative papers

f. Over a period, expected to build a team for different sub-functions, as required

g. Recommend and institutionalize best governance policies and practices.

h. Interact with the board of directors and audit committee

i. Establish an audit program for the various licenses

j. Drafting and Review of commercial agreement

DNA :

- You will be expected to take a lot of initiative to do on-the-job learning about different financial instruments, products, regulatory structures - both onshore and offshore.

- You will be required to be flexible across functions and lead multiple projects simultaneously.

- We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.

In the long run, if you do well, you can expect to create disproportionately higher value for yourself.

- Job location - Mumbai,